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Sep 2, 2024 | 
mondaq.com | J. Eric Johnson |David A. Sakowitz
The Regulation FD Quick Reference Guide provides best practices
on how to talk to investors, analysts, and other securities market
professionals.
Regulation FD best practices
Overview of Regulation FD
Appendix A: Regulation FD
Appendix B: Compliance & Disclosure Interpretations
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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Aug 27, 2024 | 
mondaq.com | Jonathan D. Brightbill |John Niedzwiecki |J. Eric Johnson
As expected, a flurry of briefs from state attorneys general,
the Securities and Exchange Commission (the
“SEC”), and amici curiae have
been filed with the 8th Circuit Court of Appeals as the climate
rulemaking case1 makes its way through the
courts.
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Aug 27, 2024 | 
mondaq.com | Matthew Regens |J. Eric Johnson
Each year the two most prominent proxy advisory services –
ISS and Glass Lewis – and the three largest institutional
investors – BlackRock, State Street, and Vanguard –
release their proxy voting policies and related guidance for
upcoming shareholder meetings.
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Jun 18, 2024 | 
mondaq.com | J. Eric Johnson |Kimberly Prior |Daniel Stabile |John Niedzwiecki
On May 23, 2024, in a surprise move, the Securities and Exchange
Commission (SEC) issued an order that will allow exchanges to list
Ethereum-based exchange-traded funds (ETFs). The SEC's
order follows its recent decision to allow trading of
Bitcoin ETFs, in what has been interpreted by some as a
softening approach towards the regulation of digital assets.
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Mar 15, 2024 | 
mondaq.com | David A. Sakowitz |Michael Blankenship |J. Eric Johnson |Ryan B. Hunsaker
On February 20, 2024, the United States Supreme Court denied a
petition for writ of certiorari1 and declined to review
the 3-0 decision of the United States Court of Appeals for the
Second Circuit (the Second Circuit) in Kirschner v. JP Morgan
Chase Bank, N.A.,2 which held that certain
syndicated loan notes were not securities. By refraining from
hearing the case, the Supreme Court left the Second Circuit's
decision in place.
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Mar 15, 2024 | 
mondaq.com | J. Eric Johnson |David A. Sakowitz |Michael Blankenship |Jonathan D. Brightbill
On March 6, 2024, the US Securities and Exchange Commission (SEC
or Commission) announced the adoption of final rules requiring registrants – both
domestic companies and foreign private issuers (FPIs) – to
include climate-related information in their registration
statements and annual reports.
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Mar 7, 2024 | 
mondaq.com | David A. Sakowitz |Michael Blankenship |J. Eric Johnson |John Niedzwiecki
During a talk at Yale Law School on February 13, 2024,
Securities and Exchange Commission (SEC) Chair Gary Gensler
addressed probable lawsuits challenging the SEC's proposed climate disclosure rules that were
first announced on March 21, 2022.
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Feb 24, 2024 | 
mondaq.com | Michael Blankenship |J. Eric Johnson |Ben Smolij |John Niedzwiecki
On January 31, 2024, the New York Stock Exchange (the NYSE or
the Exchange) issued its annual Listed Company Compliance Guidance Memo for
2024 (the Memo). The Memo describes new rules and important
reminders for all NYSE-listed companies, with any rule or policy
distinctions for domestic versus foreign private issuers (FPIs)
identified within.
To access a complete text of the Exchange rules, please see the
NYSE Listed Company Manual (LCM).
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Feb 22, 2024 | 
mondaq.com | Michael Blankenship |J. Eric Johnson |Ben Smolij |John Niedzwiecki
For the past several years, many private companies looking to
"go public" utilized special purpose acquisition
companies (SPACs) instead of traditional IPOs as an alternate route
to the public markets. SPACs sometimes can be used to take private
companies public without the costs and burdens associated with
traditional IPOs (the process is often called a deSPAC).
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Feb 8, 2024 | 
mondaq.com | Michael Blankenship |J. Eric Johnson |Ben Smolij |John Niedzwiecki
As the U.S. prepares to transition to a T+1 practice for
securities settlements on May 28, 2024, Securities and Exchange
Commission (SEC) Chair Gary Gensler gave a speech to the European Commission on
January 25, 2024, in which he commented, "The longer it takes
for a trade to settle...the more risk our markets assume and the
more risk fundamentally we all assume." The SEC previously adopted the new rule in February
2023.
